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Form 8.5 (EPT/NON-RI)

20th May 2014 11:56

RNS Number : 5833H

Goldman Sachs & Co.

20 May 2014

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the "Code")

1. KEY INFORMATION

(a) Name of exempt principal trader:	(GS) GOLDMAN, SACHS & CO.
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree	ASTRAZENECA PLC
(c) Name of the party to the offer with which exempt principal trader is connected:	ASTRAZENECA PLC
(d) Date position held/dealing undertaken:	19 May 2014
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?	NO

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security:	USD 0.25 ordinary and ADRs
	Interests		Short positions
	Number	%	Number	%
(1) Relevant securities owned and/or controlled:	1,402	0.00	299,900	0.02
(2) Derivatives (other than options):	160	0.00	0	0.00
(3) Options and agreements to purchase/sell:	1,902,400*	0.15*	343,200*	0.02*
TOTAL:	1,903,962*	0.15*	643,100*	0.05*

*(GS) GOLDMAN, SACHS & CO. resulting position includes changes resulting from non-trade related activity.

All interests and all short positions should be disclosed.

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors' and other executive options)

Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a) Purchases and sales

Class of relevant security	Purchase/sale	Number of securities	Price per unit
ADR	Purchase	100	69.9000 USD
ADR	Purchase	100	70.0000 USD
ADR	Purchase	400	70.0500 USD
ADR	Purchase	100	70.1000 USD
ADR	Purchase	100	70.1500 USD
ADR	Purchase	100	70.2100 USD
ADR	Purchase	100	70.2100 USD
ADR	Purchase	100	70.2100 USD
ADR	Purchase	500	70.2400 USD
ADR	Purchase	300	70.2900 USD
ADR	Purchase	200	70.3200 USD
ADR	Purchase	100	70.3200 USD
ADR	Purchase	100	70.3200 USD
ADR	Purchase	100	70.3200 USD
ADR	Purchase	100	70.3200 USD
ADR	Purchase	100	70.3600 USD
ADR	Purchase	300	70.3800 USD
ADR	Purchase	600	70.3800 USD
ADR	Purchase	100	70.4000 USD
ADR	Purchase	100	70.4200 USD
ADR	Purchase	200	70.5000 USD
ADR	Purchase	200	70.5500 USD
ADR	Purchase	300	70.5800 USD
ADR	Purchase	100	70.6300 USD
ADR	Purchase	100	70.6300 USD
ADR	Purchase	100	70.6500 USD
ADR	Purchase	100	70.6500 USD
ADR	Purchase	200	70.6500 USD
ADR	Purchase	200	70.6500 USD
ADR	Purchase	100	70.6600 USD
ADR	Purchase	100	70.6700 USD
ADR	Purchase	100	70.6700 USD
ADR	Purchase	200	70.6800 USD
ADR	Purchase	100	70.6800 USD
ADR	Purchase	52	70.7000 USD
ADR	Purchase	400	70.7000 USD
ADR	Purchase	14	70.7000 USD
ADR	Purchase	25	70.7000 USD
ADR	Purchase	100	70.7100 USD
ADR	Purchase	100	70.7100 USD
ADR	Purchase	200	70.7300 USD
ADR	Purchase	100	70.7600 USD
ADR	Purchase	90	70.7600 USD
ADR	Purchase	200	70.8500 USD
ADR	Purchase	400	70.8500 USD
ADR	Purchase	400	70.8500 USD
ADR	Purchase	100	70.8500 USD
ADR	Purchase	200	70.8500 USD
ADR	Purchase	3	70.9000 USD
ADR	Purchase	100	70.9000 USD
ADR	Purchase	100	70.9200 USD
ADR	Purchase	200	70.9200 USD
ADR	Purchase	100	70.9400 USD
ADR	Purchase	96	70.9500 USD
ADR	Purchase	204	70.9500 USD
ADR	Purchase	100	70.9600 USD
ADR	Purchase	400	70.9700 USD
ADR	Purchase	100	70.9800 USD
ADR	Purchase	100	70.9800 USD
ADR	Purchase	100	70.9900 USD
ADR	Purchase	100	70.9900 USD
ADR	Purchase	100	71.0300 USD
ADR	Purchase	100	71.0300 USD
ADR	Purchase	100	71.0300 USD
ADR	Purchase	400	71.0400 USD
ADR	Purchase	100	71.0400 USD
ADR	Purchase	100	71.0700 USD
ADR	Purchase	300	71.0700 USD
ADR	Purchase	200	71.0700 USD
ADR	Purchase	100	71.0700 USD
ADR	Purchase	200	71.0800 USD
ADR	Purchase	100	71.0800 USD
ADR	Purchase	300	71.0800 USD
ADR	Purchase	100	71.0800 USD
ADR	Purchase	400	71.0800 USD
ADR	Purchase	400	71.0900 USD
ADR	Purchase	300	71.0900 USD
ADR	Purchase	100	71.1000 USD
ADR	Purchase	100	71.1000 USD
ADR	Purchase	200	71.1000 USD
ADR	Purchase	100	71.1000 USD
ADR	Purchase	100	71.1000 USD
ADR	Purchase	400	71.1100 USD
ADR	Purchase	200	71.1300 USD
ADR	Purchase	100	71.1300 USD
ADR	Purchase	100	71.1300 USD
ADR	Purchase	100	71.1700 USD
ADR	Purchase	188	71.1700 USD
ADR	Purchase	12	71.1700 USD
ADR	Purchase	200	71.2100 USD
ADR	Purchase	100	71.2100 USD
ADR	Purchase	100	71.2400 USD
ADR	Purchase	300	71.2700 USD
ADR	Purchase	200	71.3300 USD
ADR	Purchase	100	71.3400 USD
ADR	Purchase	200	71.3700 USD
ADR	Purchase	100	71.4000 USD
ADR	Purchase	100	71.4000 USD
ADR	Purchase	700	71.5800 USD
ADR	Purchase	400	71.6700 USD
ADR	Purchase	400	71.7000 USD
ADR	Purchase	100	71.7100 USD
ADR	Purchase	100	71.7600 USD
ADR	Purchase	300	71.7600 USD
ADR	Purchase	100	71.7700 USD
ADR	Purchase	100	71.7700 USD
ADR	Purchase	100	71.8200 USD
ADR	Purchase	100	71.8400 USD
ADR	Purchase	100	71.8400 USD
ADR	Purchase	100	71.9000 USD
ADR	Purchase	100	71.9500 USD
ADR	Purchase	400	71.9500 USD
ADR	Purchase	100	71.9600 USD
ADR	Purchase	200	71.9700 USD
ADR	Purchase	100	71.9800 USD
ADR	Purchase	400	71.9900 USD
ADR	Purchase	200	71.9900 USD
ADR	Purchase	100	72.0000 USD
ADR	Purchase	100	72.0000 USD
ADR	Purchase	200	72.0200 USD
ADR	Purchase	400	72.0200 USD
ADR	Purchase	400	72.0300 USD
ADR	Purchase	200	72.0500 USD
ADR	Purchase	200	72.0500 USD
ADR	Purchase	99	72.0800 USD
ADR	Purchase	100	72.0900 USD
ADR	Purchase	400	72.0900 USD
ADR	Purchase	20	72.1000 USD
ADR	Purchase	80	72.1000 USD
ADR	Purchase	100	72.1000 USD
ADR	Purchase	100	72.1200 USD
ADR	Purchase	300	72.1600 USD
ADR	Purchase	700	72.1700 USD
ADR	Purchase	100	72.2100 USD
ADR	Purchase	100	72.2100 USD
ADR	Purchase	100	72.2100 USD
ADR	Purchase	100	72.2100 USD
ADR	Purchase	100	72.2100 USD
ADR	Purchase	200	72.2300 USD
ADR	Purchase	100	72.2400 USD
ADR	Purchase	300	72.3000 USD
ADR	Purchase	300	72.3700 USD
ADR	Purchase	400	72.3800 USD
ADR	Purchase	600	72.4400 USD
ADR	Purchase	2	72.5500 USD
ADR	Purchase	100	72.5800 USD
ADR	Purchase	100	72.6200 USD
ADR	Purchase	300	72.6200 USD
ADR	Purchase	600	72.6400 USD
ADR	Purchase	300	72.7100 USD
ADR	Purchase	300	72.7100 USD
ADR	Sale	700	70.0900 USD
ADR	Sale	300	70.1000 USD
ADR	Sale	100	70.1000 USD
ADR	Sale	300	70.1000 USD
ADR	Sale	200	70.2300 USD
ADR	Sale	300	70.2400 USD
ADR	Sale	200	70.2500 USD
ADR	Sale	100	70.2500 USD
ADR	Sale	100	70.2900 USD
ADR	Sale	100	70.3100 USD
ADR	Sale	200	70.3200 USD
ADR	Sale	200	70.3200 USD
ADR	Sale	300	70.3200 USD
ADR	Sale	100	70.3200 USD
ADR	Sale	500	70.3500 USD
ADR	Sale	600	70.3800 USD
ADR	Sale	200	70.4100 USD
ADR	Sale	200	70.4300 USD
ADR	Sale	100	70.4300 USD
ADR	Sale	200	70.4300 USD
ADR	Sale	200	70.4300 USD
ADR	Sale	200	70.4500 USD
ADR	Sale	400	70.4500 USD
ADR	Sale	500	70.4500 USD
ADR	Sale	600	70.4500 USD
ADR	Sale	500	70.6100 USD
ADR	Sale	100	70.6200 USD
ADR	Sale	100	70.6500 USD
ADR	Sale	100	70.6500 USD
ADR	Sale	14	70.6500 USD
ADR	Sale	100	70.6500 USD
ADR	Sale	100	70.6500 USD
ADR	Sale	100	70.6500 USD
ADR	Sale	100	70.7300 USD
ADR	Sale	100	70.7300 USD
ADR	Sale	100	70.7600 USD
ADR	Sale	100	70.7800 USD
ADR	Sale	300	70.9200 USD
ADR	Sale	200	70.9300 USD
ADR	Sale	100	70.9300 USD
ADR	Sale	100	70.9300 USD
ADR	Sale	100	70.9300 USD
ADR	Sale	400	70.9800 USD
ADR	Sale	100	70.9800 USD
ADR	Sale	300	70.9900 USD
ADR	Sale	600	70.9900 USD
ADR	Sale	100	71.0000 USD
ADR	Sale	300	71.0000 USD
ADR	Sale	500	71.0000 USD
ADR	Sale	400	71.0900 USD
ADR	Sale	100	71.0900 USD
ADR	Sale	300	71.1000 USD
ADR	Sale	100	71.1000 USD
ADR	Sale	100	71.1100 USD
ADR	Sale	112	71.1100 USD
ADR	Sale	100	71.1100 USD
ADR	Sale	100	71.1100 USD
ADR	Sale	200	71.1200 USD
ADR	Sale	100	71.1300 USD
ADR	Sale	100	71.1300 USD
ADR	Sale	200	71.1600 USD
ADR	Sale	100	71.1600 USD
ADR	Sale	20	71.1600 USD
ADR	Sale	200	71.2100 USD
ADR	Sale	100	71.2300 USD
ADR	Sale	300	71.3200 USD
ADR	Sale	500	71.3400 USD
ADR	Sale	300	71.3400 USD
ADR	Sale	100	71.3400 USD
ADR	Sale	100	71.3500 USD
ADR	Sale	300	71.3700 USD
ADR	Sale	100	71.4800 USD
ADR	Sale	100	71.6000 USD
ADR	Sale	300	71.6800 USD
ADR	Sale	100	71.7000 USD
ADR	Sale	100	71.7100 USD
ADR	Sale	200	71.7200 USD
ADR	Sale	100	71.7300 USD
ADR	Sale	200	71.8000 USD
ADR	Sale	400	71.8000 USD
ADR	Sale	100	71.8000 USD
ADR	Sale	200	71.8100 USD
ADR	Sale	100	71.8100 USD
ADR	Sale	100	71.8100 USD
ADR	Sale	100	71.8300 USD
ADR	Sale	100	71.8600 USD
ADR	Sale	300	71.8800 USD
ADR	Sale	300	71.8900 USD
ADR	Sale	100	71.9000 USD
ADR	Sale	200	71.9100 USD
ADR	Sale	100	71.9100 USD
ADR	Sale	200	71.9200 USD
ADR	Sale	500	71.9200 USD
ADR	Sale	100	71.9300 USD
ADR	Sale	100	71.9300 USD
ADR	Sale	500	71.9500 USD
ADR	Sale	100	71.9600 USD
ADR	Sale	100	71.9600 USD
ADR	Sale	100	71.9600 USD
ADR	Sale	25	72.0100 USD
ADR	Sale	5	72.0500 USD
ADR	Sale	100	72.0500 USD
ADR	Sale	100	72.0600 USD
ADR	Sale	500	72.0800 USD
ADR	Sale	100	72.0900 USD
ADR	Sale	100	72.1000 USD
ADR	Sale	100	72.1000 USD
ADR	Sale	100	72.1100 USD
ADR	Sale	100	72.1200 USD
ADR	Sale	100	72.1200 USD
ADR	Sale	100	72.1200 USD
ADR	Sale	100	72.1400 USD
ADR	Sale	100	72.1800 USD
ADR	Sale	100	72.2100 USD
ADR	Sale	100	72.2100 USD
ADR	Sale	100	72.2400 USD
ADR	Sale	200	72.2500 USD
ADR	Sale	100	72.2600 USD
ADR	Sale	100	72.2700 USD
ADR	Sale	100	72.3000 USD
ADR	Sale	400	72.3100 USD
ADR	Sale	100	72.3100 USD
ADR	Sale	100	72.3200 USD
ADR	Sale	300	72.3600 USD
ADR	Sale	100	72.3700 USD
ADR	Sale	300	72.4200 USD
ADR	Sale	300	72.4200 USD
ADR	Sale	100	72.4200 USD
ADR	Sale	100	72.4300 USD
ADR	Sale	100	72.4900 USD
ADR	Sale	200	72.6200 USD
ADR	Sale	500	72.6200 USD
ADR	Sale	300	72.6300 USD
ADR	Sale	300	72.6400 USD
ADR	Sale	600	72.6500 USD
ADR	Sale	200	72.6700 USD

Class of relevant security	Purchases/sales	Total number of securities
ADR	Purchases	27,985
ADR	Sales	26,876

(b) Derivatives transactions (other than options)

Class of relevant security

Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

(i) Writing, selling, purchasing or varying

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

(ii) Exercising

Class of relevant security

Product description

e.g. call option

Number of securities

Exercise price per unit

USD 0.25 ordinary

Call Option

39,400

67.5000 USD

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)

The currency of all prices and other monetary amounts should be stated.

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

If there are no such agreements, arrangements or understandings, state "none"

NONE

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state "none"

NONE

Is a Supplemental Form 8 (Open Positions) attached?

YES

Date of disclosure:	20 May 2014
Contact name:	Aadithya Rao and Yiannis Bardis
Telephone number:	+44(20) 7051 9046 / +44(20) 7774 7107

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]. The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8(OPEN POSITIONS)

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENT TO

PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the "Code")

1. KEY INFORMATION

Identity of the person whose open positions are being disclosed:	(GS) GOLDMAN, SACHS & CO.
Name of offeror/offeree in relation to whose relevant securities disclosure relates:	ASTRAZENECA PLC

2. OPTIONS AND DERIVATIVES

Class of relevant security	Product description e.g. call option	Written or purchased	Number of securities to which option or derivative relates	Exercise price per unit	Type e.g. American, European etc.	Expiry date
USD 0.25 ordinary	Call Option	Purchased	800	67.5000 USD	AMER	21/06/2014
USD 0.25 ordinary	Call Option	Sold	2,400	75.0000 USD	AMER	21/06/2014
USD 0.25 ordinary	Call Option	Purchased	15,400	72.5000 USD	AMER	21/06/2014
USD 0.25 ordinary	Call Option	Sold	15,800	62.5000 USD	AMER	19/07/2014
USD 0.25 ordinary	Call Option	Purchased	16,600	70.0000 USD	AMER	17/01/2015
USD 0.25 ordinary	Call Option	Purchased	43,200	70.0000 USD	AMER	19/07/2014
USD 0.25 ordinary	Call Option	Sold	100,000	70.0000 USD	AMER	17/01/2015
USD 0.25 ordinary	Call Option	Purchased	100,000	75.0000 USD	AMER	19/07/2014
USD 0.25 ordinary	Call Option	Purchased	100,000	77.5000 USD	AMER	19/07/2014
USD 0.25 ordinary	Call Option	Purchased	100,000	80.0000 USD	AMER	17/01/2015
USD 0.25 ordinary	Call Option	Purchased	138,300	70.0000 USD	AMER	21/06/2014
USD 0.25 ordinary	Call Option	Purchased	153,900	80.0000 USD	AMER	19/07/2014
USD 0.25 ordinary	Call Option	Purchased	165,100	60.0000 USD	AMER	17/01/2015
USD 0.25 ordinary	Call Option	Sold	200,000	40.0000 GBP	AMER	20/06/2014
USD 0.25 ordinary	Call Option	Purchased	200,000	40.0000 GBP	AMER	20/06/2014
USD 0.25 ordinary	Call Option	Purchased	200,000	40.0000 GBP	AMER	20/06/2014
USD 0.25 ordinary	Call Option	Purchased	237,800	65.0000 USD	AMER	19/07/2014
USD 0.25 ordinary	Call Option	Purchased	338,800	70.0000 USD	AMER	19/07/2014
USD 0.25 ordinary	Put Option	Purchased	25,000	38.0000 GBP	EURO	20/06/2014
USD 0.25 ordinary	Put Option	Sold	92,500	62.5000 USD	AMER	21/06/2014
USD 0.25 ordinary	Swap	Purchased	160	0.0000	N/A	08/04/2015

3. AGREEMENTS TO PURCHASE OR SELL

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplement form (Open Positions) with regard to contracts for differences ("CFD") or spread bets

The currency of all pieces and other monetary amounts should be stated.

The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

This information is provided by RNS

The company news service from the London Stock Exchange

END

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